Engagement
Transaction Monitoring Controls Review
We sample alerts, re-perform rule logic against known scenarios, and assess whether case notes would stand up in a supervisory file review.
Request this audit
Who this is for
Compliance teams at payment and lending fintechs whose monitoring rules have grown faster than documentation, or who received informal feedback after a thematic review.
What is included
- Inventory of active monitoring scenarios and thresholds
- Sample of closed and open alerts across risk categories
- Re-performance of selected rules against synthetic and historical cases
- Assessment of escalation paths and quality of case narratives
- Recommendations on calibration, training, and backlog governance
Outside this scope
- Building or hosting a monitoring application
- Full forensic investigation of suspected crime
- Formal suspicious transaction report filing on your behalf
How the engagement runs
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1
Rule inventory
We catalogue scenarios, owners, last calibration dates, and known false-positive rates.
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2
Sample testing
A risk-based sample of alerts is re-worked against your playbooks to test consistency and completeness.
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3
Calibration briefing
Findings are presented with practical threshold and documentation changes your team can own.
Outcome: Documented strengths and weaknesses in monitoring coverage, with a short list of rule and process changes supervisors typically expect to see addressed.
Schedule a scoping call